Senior compliance executive
1 month ago
Senior Compliance Executive Singapore Headquartered in Singapore with presence in the United States and Indonesia, Straits Financial serves as the financial services arm of the CWT Group, a global leading provider of integrated logistics and financial services. We provide a fully-integrated service for our clients to access the financial and commodity derivative markets and will continue to expand into key financial and commodity markets. We are looking for a Senior Compliance Executive with an eye for detail but able to work efficiently to assist in all compliance and AML matters within the Straits Financial Group. Candidate should have experience in the space of financial crime prevention, as well as with the Securities and Futures Act, Commodity Trading Act, Payment Services Act, Precious Stones and Precious Metals Acts and their subsidiary regulations, and have dealt with Regulators on a regular basis. The Team: The Team is responsible for putting in place and executing proper level-two governance and reporting mechanisms for financial crime and compliance, including for existing business and implementation of new businesses, addressing any AML, compliance and regulatory risks faced by the company. The team is also primary responsible for liaising with legal counsel to address legal documentation and legal risk issues. Compliance works closely with other departments in the organization to ensure compliance risks are effectively addressed with proper processes; as well as Chief Operating Officer for group reporting and oversight. Responsibilities : Your primary responsibilities will be: Financial Crime Prevention Establishing and maintaining policies, systems and processes to counter the risks of the Company’s involvement in money laundering, terrorist financing, weapons proliferation and sanctions, as well as filing of suspicious transaction reports; Coordinate and review regular transaction monitoring and analysis from a financial crime perspective; Regulatory compliance Managing regulatory compliance across all local entities within the Group; Proactively anticipate and research on new regulatory requirements, including consultation papers, propose and follow through with implications on the business and implementation actions; Endorse annual compliance calendar and programs, ensuring adherence to ongoing obligations; Perform compliance reviews, taking action in dealing with non-compliance situations and creating realistic plans to overcome them; Coordinate with counterparties on regulatory requests and ensure prompt follow-up. . Internal compliance Provide 2nd level monitoring and management of compliance to internal policies and procedures; Managing and dealing with matters relating to Code of Conduct, errors, complaints, as well as incidents (together with HR where necessary). Others Responsible for following-up on trade surveillance alerts and liaising with relevant departments as necessary; Responsible for fund movement surveillance. Responsible for daily regulatory and compliance operations, such as daily exchange reporting and other periodic regulatory reporting. Responsible for licensed representatives’ licensing matters. Review advertising and marketing materials; Assist to provide advice and guidance on compliance policies and procedures relevant to the applicable rules and regulations of the company. Escalate salient matters to the Head of Compliance and Chief Operating Officer as necessary. All other tasks as allocated by Head of Compliance or Chief Operating Officer from time to time. Requirements: You should possess the following: At least a Degree in preferably Business, Accountancy, Finance or equivalent; At least 6 years of relevant working experience in the brokerage (securities/derivatives) industry is a must; Candidates with Trade Surveillance background will be viewed favourably; Well-versed with regulatory obligations of SFA, FAA, as well as exchange regulations (e.g. CME, ICE, SGX), as well as the newly introduced PSA, and changing regulatory landscape of digital assets; Able to work in a high volume, fast-paced environment that is continuously growing; Highly collaborative and possess excellent writing, communication and problem-solving skills; Team player but able to work independently; Meticulous, mature with a positive work attitude. #J-18808-Ljbffr
-
Senior Compliance Expert
2 weeks ago
Singapore SPACE EXECUTIVE PTE. LTD. Full timeJob Title: Senior KYC/Compliance, Financial InstitutionOverview:Sparex is a renowned financial service provider seeking an accomplished Senior Compliance Officer to oversee and ensure seamless execution of regulatory standards across client onboarding and account management processes.The ideal candidate will leverage their extensive experience in the field...
-
Singapore IQ EQ REGULATORY COMPLIANCE Full timeJob Description Manage a portfolio of clients Provide advisory and consultancy services to clients Submit and/or review regulatory filings and notifications Liaise and correspond with MAS and auditors Periodic compliance reporting to senior management or board of directors Provide or review compliance manual Provide or review compliance checklists,...
-
Chief Compliance Director
4 days ago
Singapore Executive Access Full timeJob DescriptionWe are seeking an experienced Chief Compliance Director to join our team at Executive Access.Job SummaryThe Chief Compliance Director will be responsible for managing and implementing the firm's global compliance program, including an internal compliance team and third-party compliance analysts. This role requires a strong understanding of...
-
Global Compliance Strategist
3 weeks ago
Singapore Executive Access Full timeJob Summary:We are seeking a highly skilled and experienced Global Compliance Strategist to join our team at Executive Access.The successful candidate will be responsible for managing and implementing all aspects of our global compliance program, including an internal compliance team and third-party compliance analysts. This role requires strong knowledge of...
-
Senior E-commerce Merchandising Strategist
4 weeks ago
Singapore Link Compliance Full timeAbout the RoleWe are seeking a highly skilled Senior E-commerce Merchandising Strategist to join our team at Link Compliance. In this role, you will play a crucial part in developing and executing key merchandising initiatives, strategies, and business priorities.
-
Singapore Compliance Wise Full timeOKX will be prioritising applicants who have a current right to work in Singapore, and do not require OKX's sponsorship of a visa. Who We Are At OKX, we believe the future will be reshaped by technology. Founded in 2017, we are revolutionising world systems through our cutting-edge digital asset exchange, Web3 portal and blockchain ecosystems. We...
-
Singapore Executive Access Full timeJob OverviewAt Executive Access, we are committed to excellence in our global compliance program. We are seeking a highly skilled and experienced Chief Compliance Officer to join our team.
-
Senior Compliance Specialist, Financial Services
2 weeks ago
Singapore SPACE EXECUTIVE PTE. LTD. Full timeJob SummarySPACE EXECUTIVE PTE. LTD. is seeking a Senior Compliance Specialist to join our team in Singapore. As a pivotal role, you will be responsible for ensuring compliance with regulatory standards across client onboarding and account management processes.About the RoleWe are looking for an experienced professional with a strong background in KYC...
-
Regional head of compliance
1 month ago
Singapore Space Executive Full timeOur client is a dynamic, high-growth fintech company headquartered in Singapore with a significant and expanding regional presence across Southeast Asia. Known for its innovative approach to digital payments, lending, and consumer financing solutions, this company is a market leader poised for continued growth and development. Role Overview: We are seeking...
-
Senior Quality Assurance Manager
3 weeks ago
Singapore Link Compliance Full timeLink Compliance offers a competitive salary of $120,000 - $180,000 per year for this role.Job DescriptionAs a Senior Quality Assurance Manager at Link Compliance, you will lead our QA team in ensuring the highest quality of our regulatory-compliant, enterprise infrastructure for the digital capital markets. Your responsibilities will include:Managing and...
-
Financial Compliance Specialist
2 weeks ago
Singapore Executive Access Full timeAbout Executive AccessExecutive Access is a prestigious organization that requires highly skilled professionals to support its operations. We are committed to delivering exceptional services and strive to maintain the highest standards of excellence.Job OverviewWe are seeking a Financial Compliance Specialist to join our team. This role will involve...
-
Senior Digital Asset Backend Developer
4 weeks ago
Singapore Link Compliance Full timeJob DescriptionWe are seeking an experienced Senior Digital Asset Backend Developer to join our team at Link Compliance. This role will play a crucial part in designing, implementing, and maintaining the backend layers of our digital asset custody platform.About the RoleWe are looking for a skilled developer with expertise in backend development,...
-
Chief compliance officer
2 months ago
Singapore Executive Access Full timeChief Compliance Officer - Private Equity - SEC Licensed entity - Global Coverage My client is an international private equity firm with a global presence. Due to expansion, they are seeking a senior director with expertise in SEC regulations and a strong background working in Private Equity firms to join them in a Global Compliance role. Please note that...
-
Compliance analyst, aml investigations
3 weeks ago
Singapore Compliance Wise Full timeOKX will be prioritising applicants who have a current right to work in Singapore, and do not require OKX's sponsorship of a visa. Who We Are At OKX, we believe the future will be reshaped by technology. Founded in 2017, we are revolutionising world systems through our cutting-edge digital asset exchange, Web3 portal and blockchain ecosystems. We...
-
Singapore IQ EQ REGULATORY COMPLIANCE (SINGAPORE) PTE. LTD. Full timeRoles & ResponsibilitiesJob Description Manage a portfolio of clients Provide advisory and consultancy services to clients Submit and/or review of regulatory filings and notifications Liaise and correspond with MAS and auditors Periodic compliance reporting to senior management or board of directors Provide or review compliance manual Provide or...
-
Senior Compliance Specialist
2 days ago
Singapore Executive Access Full timeAbout Executive AccessWe are a leading organization providing exceptional services to our clients. Our commitment to excellence drives us to deliver top-notch solutions that meet their evolving needs.
-
Senior Sales Manager
3 weeks ago
Singapore Link Compliance Full timeAbout the RoleWe are seeking an experienced Senior Sales Manager to lead our rotating equipment sales team. As a key member of our Link Compliance team, you will be responsible for driving sales growth and expanding our customer base in the rotating equipment market.
-
Compliance Officer
1 week ago
Singapore SPACE EXECUTIVE PTE. LTD. Full timeSpace Executive is a leading partner to an internationally renowned financial institution in search of a Senior Compliance Officer. This pivotal role ensures compliance with regulatory standards across client onboarding and account management processes.This position is crucial in safeguarding the institution's reputation and ensuring adherence to regulatory...
-
Chief Compliance Officer
4 months ago
Singapore Executive Access Full timeYou will be required to Manage and implement all aspects of the firm's global compliance program, including an internal compliance team and third party compliance analysts. Assessing and responding to time-sensitive compliance-related inquiries from the senior leadership team, the legal and compliance team, the investor relations team, the operations team,...
-
Senior Supply Chain Integration Specialist
18 hours ago
Singapore Link Compliance Full timeAt Link Compliance, we are on the lookout for a skilled Senior Supply Chain Integration Specialist. This is a fantastic opportunity to join our team and contribute to the success of our clients in Singapore's local government sector.The role involves working closely with the application team to address existing batch workflow challenges in Automic and file...
